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Evolving the FCA's approach to markets regulation
Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
Notice of Decision 2026: Planit Lifestyle Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2025: Homestyle Windows Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2025: DMC Motorcycles Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Financial Lives survey: Appendix A to the full report – Product holdings [pdf]
Appendix A provides detailed statistics on product holdings from the FCA's Financial Lives 2020 survey. It covers the proportion and number of UK adults who own one or more of over 100 financial products, or combinations of products. The appendix -
Final Notice 2021: Carma Online Limited [pdf]
This final notice (Carma Online Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation -
CP19/22: Prohibiting the sale to retail clients of investment products that reference cryptoassets [pdf]
The FCA consulted on banning the sale, marketing and distribution of derivatives and exchange traded notes referencing cryptoassets to all retail consumers. -
Financial Penalty Scheme
Find out how the FCA's Financial Penalty Scheme works and how we use retained penalties for the benefit of firms. -
FSA - GC11/2 [pdf]
As a firm, you are required to explain products and services clearly and give consumers fair and clear information, which is not misleading. This article runs through what we, the FSA, expect of you when it comes to promoting financial products and -
Kingswood Equity Consultancy
Kingswood Equity Consultancy is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.